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FIRM PROFILE
Overview
CNR SECURITIES, LLC is located at 400 Park Avenue 3rd Floor, New York, NY 10022 and was first established at New York, Delaware in 10/11/2001. After operating for 24 years, CNR SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CNR SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. CNR SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CNR SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 4 disclosures, 3 being regulatory events, 0 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CNR SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CNR SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CNR SECURITIES, LLC Comes From
Understanding the Statistics for CNR SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
400 Park Avenue 3rd Floor, New York, NY 10022
400 Park Avenue 3rd Floor, New York, NY 10022
Small
(212) 702-3500
Delaware since 10/11/2001
Limited Liability Company
October
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | ||
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 | |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 | |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 | |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 | |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 | |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 | |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
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Advisor's working at CNR SECURITIES, LLC
Keith Smith
Paul Single
Sheldon Craig Brandau
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